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TOP 50 BROKERS continued

 

Customer equity

   

Customer equity

 

Adjusted net

capital (millions) [2]

Secured amount

 

Broker/Dealer (Y/N)

Non-U.S. customer

equity (millions) [4]

Global clearing

volume (millions) [5]

Retail/Institutional

Managed Funds (Y/N)

 

Data as of

(millions) [1]

Rank

(millions) [1]

(millions) [3]

2012 RANK

2012

2011

2011

2012

2012

2012

2012

 

1 Goldman Sachs & Co. [6]

09/30/2012

19,941.28

1

21,218.01

15,444.82

8,684.42

Y

***

***

***

***

 

2 J.P. Morgan Securities LLC [7]

09/30/2012

18,272.15

3

19,543.63

18,498.53

4,177.07

Y

DND

DND

I

N

 

3 Newedge USA, LLC

09/30/2012

16,470.66

2

20,455.38

1,906.86

5,759.59

Y

DND

DND

I

N

 

4 Deutsche Bank Securities Inc.

09/30/2012

14,828.21

4

15,085.17

7,289.59

1,430.78

Y

***

***

***

***

 

5 UBS Securities LLC

09/30/2012

8,938.32

5

10,990.73

12,068.42

3,671.65

Y

***

***

***

***

6

Merrill Lynch, Pierce, Fenner & Smith Inc. [8]

09/30/2012

8,342.40

6

10,599.79

12,353.55

2,313.49

Y

DND

DND

Both

Y

 

7 Citigroup Global Markets Inc.

09/30/2012

8,018.19

7

10,457.45

7,092.40

1,473.02

Y

***

***

***

***

 

8 Morgan Stanley & Co. LLC

09/30/2012

7,430.42

9

6,026.95

7,980.56

1,630.66

Y

***

***

***

***

9

Credit Suisse Securities (USA) LLC

09/30/2012

6,374.16

8

6,467.64

6,060.48

2,036.49

Y

***

***

***

***

 

10 Barclays Capital Inc.

09/30/2012

5,904.94

10

5,412.44

5,651.43

3,502.14

Y

***

***

***

***

 

11 R.J.O’Brien & Associates

09/30/2012

4,001.52

13

2,507.11

207.49

194.33

N

DND

DND

Both

Y

 

12 ADM Investor Services, Inc.

09/30/2012

2,975.11

12

2,560.55

289.06

172.15

N

DND

DND

Both

Y

 

13 Jefferies Bache LLC

09/30/2012

2,580.00

11

2,968.81

224.10

566.32

N

***

***

***

***

 

14 Interactive Brokers LLC [9]

09/30/2012

2,320.72

17

1,421.17

2,220.56

399.70

Y

DND

DND

Both

N

 

15 ABN AMRO Clearing Chicago LLC

09/30/2012

2,227.72

15

1,954.09

267.56

509.43

Y

DND

DND

I

N

 

16 RBS Securities Inc.

09/30/2012

1,704.88

14

2,472.66

3,948.60

32.73

Y

***

***

***

***

 

17 Rosenthal Collins Group LLC

09/30/2012

1,625.07

19

1,288.76

97.66

83.22

N

DND

DND

Both

Y

 

18 FCStone, LLC

09/30/2012

1,620.50

18

1,406.63

123.56

77.58

N

DND

28.88

Both

Y

19

BNP Paribas Commodity Futures, Inc. [10]

09/30/2012

1,286.61

16

1,522.53

2,213.10

482.05

Y

***

***

***

***

20

Mizuho Securities USA Inc.

09/30/2012

942.78

24

753.04

520.34

1,272.08

Y

DND

DND

I

N

21

McVean Trading & Investments, LLC

09/30/2012

940.34

22

858.75

13.70

5.69

N

DND

DND

Both

Y

 

22 HSBC Securities USA Inc.

09/30/2012

857.96

20

972.85

1,128.82

94.13

Y

***

***

***

***

 

23 Macquarie Futures USA LLC

09/30/2012

736.55

21

871.66

92.96

108.29

N

DND

DND

Both

N

24

Morgan Stanley Smith Barney LLC

09/30/2012

727.26

26

560.41

2,602.87

100.31

Y

***

***

***

***

25

RBC CM LLC [11]

09/30/2012

581.27

27

500.66

1,422.32

72.68

Y

DND

DND

I

N

26

Vision Financial Markets LLC

09/30/2012

538.37

34

329.97

26.77

9.67

Y

DND

17.23

Both

Y

27

Santander Investment Securities

09/30/2012

534.84

30

401.02

220.77

0.00

Y

***

***

***

***

28

BNP Paribas Securities Corp.

09/30/2012

481.80

28

455.37

1,877.04

0.00

Y

***

***

***

***

29

Advantage Futures LLC

09/30/2012

446.90

31

392.83

19.77

55.59

N

DND

321.05

Both

Y

30

Rand Financial Services, Inc.

09/30/2012

389.56

40

107.21

70.63

23.36

N

DND

DND

I

N

31

Tradestation Securities Inc.

09/30/2012

389.20

29

428.05

48.41

15.06

Y

***

***

***

***

32

Enskilda Futures Limited

09/30/2012

292.10

32

374.98

36.52

0.00

N

***

***

***

***

33

Phillip Futures Inc.

09/30/2012

185.46

47

62.96

9.72

0.00

N

185.46

DND

Both

DND

34

BNY Mellon Clearing LLC

09/30/2012

144.59

25

561.85

296.35

24.17

N

***

***

***

***

35

CHS Hedging, Inc. [12]

09/30/2012

141.03

35

286.21

25.94

0.93

N

DND

DND

Both

N

36

Dorman Trading, LLC

09/30/2012

138.43

41

105.60

9.65

1.85

N

DND

40.00

Both

Y

37

UBS Financial Services Inc.

09/30/2012

131.85

37

165.69

1,197.79

2.98

Y

***

***

***

***

38

TD

Ameritrade, Inc.

09/30/2012

102.91

NA

NA

261.41

0.00

Y

DND

DND

Both

N

39

optionsXpress, Inc.

09/30/2012

98.55

38

165.31

77.84

3.70

Y

DND

DND

Both

N

40

MAREX North America LLC

09/30/2012

89.42

45

77.94

11.88

4.38

N

***

***

***

***

41

The Linn Group

09/30/2012

80.40

NA

NA

3.67

0.18

N

***

***

***

***

42

Straits Financial LLC

09/30/2012

78.51

NA

NA

9.52

12.43

N

DND

DND

Both

Y

43

Cunningham Commodities, LLC

09/30/2012

73.35

49

56.24

2.94

0.57

N

***

***

***

***

44

Crossland LLC

09/30/2012

67.75

46

72.81

7.76

13.05

N

***

***

***

***

45

York Business Associates LLC [13]

09/30/2012

63.97

44

79.93

3.44

1.91

N

DND

DND

Both

N

46

Velocity Futures, LLC

09/30/2012

58.06

43

85.37

1.56

14.69

N

DND

48.90

Both

N

47

Nomura Securities International Inc.

09/30/2012

51.40

39

117.03

1,877.91

0.18

Y

***

***

***

***

48

Ironbeam Inc.

09/30/2012

50.59

50

39.23

2.55

0.25

N

DND

DND

Both

Y

49

AMP Global Clearing LLC

09/30/2012

36.04

NA

NA

2.36

0.18

N

DND

DND

R

Y

50

CX

Capital Markets

09/30/2012

34.03

NA

NA

3.34

0.00

Y

***

***

***

***

FOOTNOTES

[1] Customer equity represents the total amount of funds that an FCM is required to segregate on behalf of customers who are trading on a registered U.S. futures exchange. This is the sum of all accounts with a net liquidating equity and is reported to the CFTC. [2] A firm’s Adjusted Net Capital is the amount of regulatory capital available to meet the FCM’s minimum net capital requirement.The classification of assets and liabilities used in arriving at net capital, and the additional capital haircuts that an FCM may be required to take, are set forth in CFTC Regulation 1.17. [3] Secured amount represents the amount of funds an FCM is required to set aside for customers who trade on futures exchanges located outside the United States. [4] Non-U.S. customer equity is the amount of funds FCMs hold for traders outside of the United States. This was obtained from the FCMs on a voluntary basis. It is not reported to the CFTC. [5] This is the number of trades cleared by the listed firm through September. [6] Goldman Sachs & Co. includes amounts from Goldman Sachs Execution and Clearing LP. [7] JP Morgan Securities LLC includes amounts from JP Morgan Clearing Corp.

[8] Merrill Lynch, Pierce, Fenner & Smith Incorporated includes amount from Merrill Lynch Professional Clearing Corp. [9] Interactive Brokers LLC includes Timber Hill LLC. [10] BNP Paribas Commodity Futures, Inc. is now BNP Paribas Prime Brokerage Inc. because of the acquisition of Bank of America’s Prime Brokerage activities. [11] RBC CM LLC formerly was known as RBC Capital Markets. [12] CHS Hedging, Inc. formerly was known as Country Hedging, Inc. [13] York Business Associates LLC is doing business as TransAct Futures (TransAct). ***

Did not respond with information DND Did not disclose NA Not applicable

44 FUTURES December/January 2013

NYMEX NYSE ARCA OPTIONS

ICE-Canada ICE Futures Europe

Nasdaq OMX PHLX

CFE CME Group/ CBOT

TSX WIENER BORSE

NYSE/Euronext ONE CHICAGO

ICE Futures US

EUREX Euronext Liffe

MX Nasdaq OMX

NYSE Amex

BOX
BSE-India

MEFF
MEXDER

COMEX

TGE
TOCOM

OSE
SAFEX

BATS
BM&F

MGEX

DGCX

CBOE

ISE
KCBT

HKEX

IDEM

DME

KRX
LME

SGX

NFX
NSE

CCX

ASX

ECX

LSE

TSE

ELX

TFX

ICE

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

35

36

37

38

39

40

41

42

43

44

45

46

47

48

49

50

KEY

ASX

Australian Stock Exchange

DME

Dubai Mercantile Exchange

BATS

BATS Global Market

ECX

European Climate Exchange

BM&F

Brazilian Mercantile Futures Exchange

ELX

Electronic Liquidity Exchange

BOX

Boston Options Exchange

EUREX

Eurex

BSE-India

Bombay Stock Exchange

Euronext Liffe

CBOE

Chicago Board Options Exchange

HKEX

Hong Kong Exchanges and Clearing Ltd.

CCX

Chicago Climate Exchange

ICE

InterContinental Exchange

CFE

CBOE Futures Exchange

ICE-Canada

CME Group / CBOT

Chicago Mercantile Exchange/ Chicago Board of Trade

ICE Futures Europe ICE Futures US

IDEM

Italian Derivatives Exchange

COMEX

Commodity Exchange (New York)

ISE

International Securities Exchange

DGCX

Dubai Gold & Commodities Exchange

KCBT

Kansas City Board of Trade

KRX

Korea Exchange

NYSE Amex

LME

London Metal Exchange

NYSE / Euronext

New York Stock Exchange

LSE

London Stock Exchange

ONE CHICAGO OneChicago SSF Exchange

MEFF

Spanish Financial Futures

OSE

Osaka Securities Exchange

& Options Exchange

SAFEX

South African Futures Exchange

MEXDER

Mercado Mexicano de Derivados

SGX

Singapore Exchange

MGEX

Minneapolis Grain Exchange

TFX

Tokyo Financial Exchange Inc

MX

Montreal Exchange

TGE

Tokyo Grain Exchange

Nasdaq OMX PHLX

TOCOM

Tokyo Commodity Exchange

NFX

Nasdaq OMX Futures Exchange

TSE

Tokyo Stock Exchange

NSE

National Stock Exchange of India Ltd.

TSX

Toronto Stock Exchange

NYMEX

New York Mercantile Exchange

WIENER BORSE

Austria Exchange

NYSE ACRA OPTIONS

Note: Some exchanges listed now operate as subsidiaries of other exchanges.

Past performance is not necessarily indicative of future results. The risk of loss exists in futures trading. VFM928

futuresmag.com

45